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Available public information
ORDERSMARKET CONDUCT EXAMSFINANCIAL EXAMS

 

Orders

MIA-2014-09-038
September 25, 2014

MIA-2014-03-024
September 15, 2014

MIA-2014-08-008
MIA-2014-08-007
August 4, 2014

MIA-2014-04-049
August 4, 2014

MIA-2013-07-004
MIA-2013-06-001
July 24, 2014

MIA-2014-02-001
June 9, 2014

MIA-2013-11-006
June 2, 2014

MIA-2014-01-037
May 20, 2014

MIA-2013-09-023
February 21, 2014

MIA-2014-01-040
January 30, 2014

MIA-2014-01-019
January 15, 2014

MIA-2014-01-014
January 10, 2014

MIA-2013-10-021
December 30, 2013

MIA-2013-11-009
November 20, 2013

MIA-2013-10-043
October 28, 2013

MIA-2013-04-003
September 26, 2013

MIA-2013-07-032
July 26, 2013

MIA-2013-05-023
MIA-2013-01-007
May 10, 2013

MIA-2012-08-022
February 1, 2013

MIA-2012-11-027
December 20, 2012

MIA-2012-07-013
December 6, 2012

MIA-2012-07-016
November 28, 2012

MIA-2012-07-015
November 13, 2012

MIA-2012-09-100
September 11, 2012

MIA-2012-08-037
August 23, 2012

MIA-2012-08-015
August 9, 2012

MIA-2011-10-011
May 30, 2012

MIA-2012-04-006
April 4, 2012

MIA-2011-08-015
March 27, 2012

MIA-2012-02-029
February 28, 2012

MIA-2011-09-014
February 16, 2012

MIA-2011-02-036
February 9, 2012

MIA-2012-01-006
January 10, 2012

MIA-2011-12-012
December 12, 2011

MIA-2011-06-046
November 8, 2011

MIA-2011-04-052
November 4, 2011

MIA-2011-10-013
October 18, 2011

MIA-2011-05-004
October 5, 2011

MIA-2011-04-034
October 5, 2011

MIA-2011-09-038
September 30, 2011

MIA-2011-09-002
September 12, 2011

MIA-2011-04-041
September 6, 2011

MIA-2011-06-043
June 28, 2011

MIA-2011-02-008
February 7, 2011

MIA-2011-01-010
January 6, 2011

MIA-2010-12-004
March 7, 2011

MIA-2010-11-037
April 22, 2011

MIA-2010-11-016
April 12, 2011

MIA-2010-12-024
December 17, 2010

MIA-2010-09-031
September 21, 2010

MIA-2010-07-045
September 1, 2010

MIA-2010-06-028
June 24, 2010

MIA-2010-03-037
May 21, 2010

MIA-2010-04-029
April 16, 2010

MIA-2010-03-050
March 22, 2010

MIA-2009-10-022
October 13, 2009

MIA-2008-08-042
August 29, 2008

MIA-2008-08-003
August 4, 2008

MIA-2007-12-018
December 18, 2007

MIA-2006-03-006
September 20, 2006

MIA-2005-12-017
December 22, 2005

MIA-2004-10-007
October 18, 2004

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Market Conduct Exams

Exam Reports Finalized in 2012
September 11, 2012
16 pages

Exam Reports Finalized in 2011
January 6, 2011
75 pages

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Financial Exams

none

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